Health and Social Care Bill

House of Commons

Session 2007 - 08
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Other Bills before Parliament

Health and Social Care Bill

Health and Social Care Bill
Part 1 — The Care Quality Commission
Chapter 2 — Registration in respect of provision of health or social care
10

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Guidance as to compliance with requirements
(1)
The Commission must issue guidance about compliance with the requirements
of regulations under section 16, other than requirements which relate to the
prevention or control of health care associated infections.
(2)
The guidance may, if the Commission thinks fit, also relate to compliance for
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the purposes of this Chapter with the requirements of any other enactments.
(3)
The guidance may—
(a)
operate by reference to provisions of other documents specified in it
(whether published by the Commission or otherwise);
(b)
provide for any reference in it to such a document to take effect as a
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reference to that document as revised from time to time;
(c)
make different provision for different cases or circumstances.
(4)
The Commission may from time to time revise guidance issued by it under this
section and issue the revised guidance.
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Consultation in relation to guidance under s. 19
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(1)
Where the Commission proposes to issue guidance under section 19, it must—
(a)
prepare a draft of the guidance, and
(b)
consult such persons as the Commission considers appropriate about
the draft.
(2)
Where the Commission proposes to issue under section 19 revised guidance
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which in its opinion would result in a substantial change in the guidance, the
Commission must—
(a)
prepare a draft of the revised guidance, and
(b)
consult such persons as the Commission considers appropriate about
the change.
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(3)
Where, following consultation under subsection (1) or (2), the Commission
issues the guidance or revised guidance (whether in the form of the draft or
with such modifications as the Commission thinks fit), it comes into force at the
time when it is issued by the Commission.
(4)
Where—
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(a)
any document by reference to whose provisions the guidance operates
as mentioned in section 19(3)(a) and (b) is a document published by the
Commission,
(b)
the Commission proposes to revise the document, and
(c)
in the opinion of the Commission, the revision would result in a
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substantial change in the guidance,

the Commission must, before revising the document, consult such persons as
the Commission considers appropriate about the change.
(5)
Where—
(a)
any document by reference to whose provisions the guidance operates
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as mentioned in section 19(3)(a) and (b) is not one to which subsection
(4)(a) of this section applies,
(b)
the document is revised, and
(c)
in the opinion of the Commission, the revision results in a substantial
change in the guidance,
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Health and Social Care Bill
Part 1 — The Care Quality Commission
Chapter 2 — Registration in respect of provision of health or social care
11


the Commission must consult such persons as the Commission considers
appropriate about whether the guidance should be revised in connection with
the change.
(6)
Consultation undertaken by the Commission before the commencement of this
section is as effective for the purposes of this section as consultation
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undertaken after that time.
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Effect of code under s. 17 and guidance under s. 19
(1)
A code of practice under section 17 and guidance under section 19 are to be
taken into account—
(a)
in the making of any decision by the Commission under this Chapter;
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(b)
in any proceedings for the making of an order under section 26;
(c)
in any proceedings on an appeal against such a decision or order;
(d)
in any proceedings for an offence under section 29 or under regulations
under section 16.
(2)
A code of practice under section 17 or guidance under section 19 is also
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admissible in evidence in other criminal or civil proceedings.
(3)
A failure to observe any provision of a code of practice under section 17 or
guidance under section 19 does not of itself make a person liable to any
criminal or civil proceedings.
Registration procedure
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Notice of proposals
(1)
Subsections (2) and (3) apply where a person applies for registration as a
service provider or manager in respect of a regulated activity.
(2)
If the Commission proposes to grant the application subject to any condition
which has not been agreed in writing between it and the applicant, other than
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a registered manager condition required by section 9(1), it must give the
applicant notice in writing of its proposal and of the conditions subject to
which it proposes to grant the application.
(3)
The Commission must give the applicant notice in writing of a proposal to
refuse the application.
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(4)
Except where it makes an application under section 26 or gives notice under
section 27, the Commission must give any person registered as a service
provider or manager in respect of a regulated activity notice in writing of a
proposal—
(a)
to cancel the registration (otherwise than in accordance with an
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application under section 15(1)(b)),
(b)
to suspend the registration or extend a period of suspension,
(c)
to vary or remove (otherwise than in accordance with an application
under section 15(1)(a)) any condition for the time being in force in
relation to the registration, or
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(d)
to impose in relation to the registration any additional condition.
(5)
The Commission must give the applicant notice in writing of a proposal to
refuse an application under section 15(1)(a), (b) or (c).

Health and Social Care Bill
Part 1 — The Care Quality Commission
Chapter 2 — Registration in respect of provision of health or social care
12

(6)
A notice under this section must give the Commission’s reasons for its
proposal.
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Right to make representations
(1)
A notice under section 22 must state that within 28 days of service of the notice
any person on whom it was served may make written representations to the
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Commission concerning any matter which that person wishes to dispute.
(2)
Where a notice has been served under section 22, the Commission must not
determine any matter to which the notice relates until either—
(a)
any person on whom the notice was served has made written
representations to it concerning the matter,
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(b)
any such person has notified the Commission in writing that the person
does not intend to make such representations, or
(c)
the period during which any such person could have made
representations has elapsed.
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Notice of decisions
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(1)
If the Commission decides to grant an application for registration as a service
provider or manager in respect of a regulated activity—
(a)
unconditionally, or
(b)
subject only to conditions each of which is either required by section
9(1) or agreed in writing between the Commission and the applicant,
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it must give the applicant notice in writing of the decision.
(2)
A notice under subsection (1) must state the conditions subject to which
registration is granted.
(3)
If the Commission decides to adopt a proposal of which it was required to give
notice under section 22, it must give notice in writing of its decision to any
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person to whom it was required by section 22 to give notice of the proposal.
(4)
A notice under subsection (3) must—
(a)
explain the right of appeal conferred by section 28,
(b)
in the case of a decision to adopt a proposal under section 22(2), state
the conditions subject to which the application is granted,
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(c)
in the case of a decision to adopt a proposal under section 22(4)(b), state
the period (or extended period) of suspension, and
(d)
in the case of a decision to adopt a proposal under section 22(4)(c) or
(d), state the condition as varied, the condition which is removed or (as
the case may be) the additional condition imposed.
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(5)
Where a person (“M”) is registered as a manager in respect of a regulated
activity, the Commission must—
(a)
give M a copy of any notice given under subsection (3) to the person
(“S”) registered as a service provider in respect of the regulated activity,
and
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(b)
give S a copy of any such notice given under that subsection to M.
(6)
Subject to subsection (7), a decision of the Commission to adopt a proposal
under section 22(2) or (4) takes effect—
(a)
at the end of the period of 28 days referred to in section 28(2), or

Health and Social Care Bill
Part 1 — The Care Quality Commission
Chapter 2 — Registration in respect of provision of health or social care
13

(b)
if an appeal is brought, on the determination or abandonment of the
appeal.
(7)
Where the applicant notifies the Commission in writing before the end of the
period mentioned in subsection (6)(a) that the applicant does not intend to
appeal, the decision is to take effect when the Commission receives the
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applicant’s notification.
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Warning notice
(1)
If it appears to the Commission that a person who is registered under this
Chapter as a service provider or manager in respect of a regulated activity has
failed to comply with the relevant requirements, the Commission may give the
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registered person a warning notice.
(2)
A warning notice is a notice in writing—
(a)
specifying the conduct which appears to the Commission to constitute
a failure to comply with the relevant requirements,
(b)
specifying the requirement concerned, and
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(c)
where it appears to the Commission that the failure is continuing—
(i)
requiring the registered person to comply with the requirement
concerned within a specified time, and
(ii)
stating that, if the registered person fails to do so within that
time, the Commission may take action to secure compliance
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with the provisions of this Chapter.
(3)
Subsections (4) and (5) apply where—
(a)
a warning notice has been given to any person, and
(b)
where any failure to comply with a requirement is specified under
subsection (2)(c), the requirement has been complied with within the
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specified time.
(4)
The failure to which the notice relates, so far as occurring before the relevant
time, is not to constitute a ground for the cancellation or suspension of
registration, the variation of the conditions of registration or the imposition of
any additional condition.
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(5)
No proceedings may be brought against any person registered in respect of the
regulated activity for a Part 1 offence that arises out of the failure to which the
notice relates, so far as occurring before the relevant time.
(6)
In subsections (4) and (5) “the relevant time” means—
(a)
where a time is specified under subsection (2)(c)(i), the time so
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specified, and
(b)
in any other case, the date on which the notice was given.
(7)
In this section “relevant requirements” means—
(a)
any requirements or conditions imposed by or under this Chapter or
Chapter 6, and
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(b)
the requirements of any other enactment which appears to the
Commission to be relevant.
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Urgent procedure for cancellation
(1)
If—

Health and Social Care Bill
Part 1 — The Care Quality Commission
Chapter 2 — Registration in respect of provision of health or social care
14

(a)
the Commission applies to a justice of the peace for an order cancelling
the registration of a person as a service provider or manager in respect
of a regulated activity, and
(b)
it appears to the justice that, unless the order is made, there will be a
serious risk to a person’s life, health or well-being,
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the justice may make the order, and the cancellation has effect from the time
when the order is made.
(2)
An application under subsection (1) may, if the justice thinks fit, be made
without notice having been given to the registered person.
(3)
As soon as practicable after the making of an application under this section, the
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Commission must give notice of the application—
(a)
to such Primary Care Trust or English local authority as may be
determined in accordance with regulations,
(b)
where the person registered as a service provider is a Primary Care
Trust or National Health Service trust, to such Strategic Health
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Authority as may be so determined,
(c)
where the person registered as a service provider is an NHS foundation
trust, to the Independent Regulator of NHS Foundation Trusts, and
(d)
to such other persons as the Commission considers appropriate.
(4)
An order under subsection (1) must be in writing.
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(5)
Where such an order is made, the Commission must, as soon as practicable
after the making of the order, serve on the person registered as a service
provider or manager in respect of the regulated activity—
(a)
a copy of the order, and
(b)
notice of the right of appeal conferred by section 28.
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Urgent procedure for variation or suspension
(1)
If the Commission has reasonable cause to believe that unless it acts under this
section any person will or may be exposed to the risk of harm, the Commission
may, by giving notice in writing under this section to a person registered as a
service provider or manager in respect of a regulated activity, provide for any
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decision of the Commission that is mentioned in subsection (2) to take effect
from the time when the notice is given.
(2)
Those decisions are—
(a)
a decision under section 8(5) or 11(5) to vary a condition for the time
being in force in relation to the registration or to impose an additional
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condition;
(b)
a decision under section 14 to suspend the registration or extend a
period of suspension,
(3)
The notice must—
(a)
state that it is given under this section,
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(b)
state the Commission’s reasons for believing that the circumstances fall
within subsection (1),
(c)
specify the condition as varied or imposed or the period (or extended
period) of suspension, and
(d)
explain the right of appeal conferred by section 28.
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